RIA Services

Investment Advisory Services
Rules and regulations governing investment advisory activities have changed dramatically recently. Further, SEC and state oversight is at an all time high. COS can help your firm adopt to recent regulatory changes and ensure your firm has a successful SEC or state review. COS can assist your firm with the following compliance functions:
» Dodd-Frank Investment Advisor Reform
» State Registration
» SEC Registration
» Form ADV Part I, 2A and 2B
» Form PF
» Annual Compliance Reviews – Rule 206(4)-7 of the Investment Advisers Act
» Code of Ethics
» Policies and Procedures
» Training